Surveillance Manager

2 months ago

London, Greater London, United Kingdom Marex Full time
About Marex

Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It operates as a leading player in the industry, with a strong presence in Europe, the US, and APAC. The company's unique access to markets and significant share globally on and off exchange provide its customers with a clear advantage. Marex's technology-led service offers access to all major exchanges, order-flow management via screen, voice, and DMA, plus award-winning data, insights, and analytics.

Role Summary

Marex Financial Ltd is seeking a Senior Surveillance Compliance Officer to join their team in London. The role focuses on Surveillance (Trade and Comms) across the Fixed Income, Swaps, and OTC space, with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will manage the manual OTC coverage, the Trade Reconstruction, and lead on the Fixed Income / OTC transition onto an automated surveillance solution.

Key Responsibilities
  • Lead on OTC / Fixed Income manual surveillance implementation / enhancement.
  • Manage the transition from current tactical controls to Nasdaq SMARTS.
  • Escalate any suspicious activity findings to management and reporting to regulators.
  • Participate in thematic reviews and the annual MARA process, factoring findings into enhancing the OTC / Fixed Income control framework.
  • Conduct Trade Reconstruction reviews of Fixed Income / OTC activity, using Global Relay, Audio platforms, and various Marex data sources.
  • Ensure compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and any other relevant regulatory body.
  • Adhere to the operational risk framework for your role, ensuring all regulatory or company-determined parameters are complied with.
  • Role model for demonstrating highest level standards of integrity and conduct, reflecting Company Values.
  • Comply with the FCA's Code of Conduct and Marex's Code of Conduct at all times.
  • Ensure awareness of and adherence to internal policies that relate to your role or any other activities for which you have responsibility.
  • Report any breaches of policy to Compliance and/or your supervisor as required.
  • Escalate risk events immediately.
  • Provide input to risk management processes, as required.
Competencies
  • A collaborative team player, approachable, self-efficient, and influences a positive work environment.
  • Demonstrates curiosity.
  • Resilient in a challenging, fast-paced environment.
  • Ability to take a high level of responsibility in a fast-paced and high-volume environment.
  • Excels at building relationships, networking, and influencing others.
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
Requirements
  • 7+ years of immediately transferable skills gained in a similar role within fixed income or in an OTC Surveillance SME/organisation.
  • Strong team player/leader, experience of dealing with a variety of stakeholders.
  • Strong Surveillance knowledge, including regulation, tools used (Global Relay, SMARTS Broker or similar surveillance tools is essential).
  • Knowledge of tactical/manual Surveillance and experience of implementing these controls in conjunction with transitioning to an automated surveillance solution.
  • Educated to degree level in a related subject would be beneficial, but not essential.
  • Excellent verbal and written communication skills.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Company Values

Marex is committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

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